JU
JU
Joseph Ulloa
56 Years of Experience
La Jolla, CA
5 DisclosuresBroker
Joseph Ulloa is a registered investment advisor at Wells Fargo Advisors, based in La Jolla, CA, with 56 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B
Fee Structure
Minimum Investment:$250K
- Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.
One-Time Plan:Up to $25,000
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Location
888 Prospect St Stes 301 & 320, La Jolla, CA, 92037
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2017Final
Customer Dispute
December 1998Settled
Customer Dispute
August 1996Settled
Customer Dispute
January 1996Settled
Customer Dispute
November 1989Award / Judgment
Employment History
Current Registrations
Wells Fargo Advisors
October 2008 - Present · 17 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
October 2008 - Present · 17 yrs 9 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - October 2008 · 1 yr 6 mos
Morgan Stanley & CO. Incorporated
April 2007 - October 2008 · 1 yr 6 mos
Morgan Stanley Dw INC.Broker
April 2004 - April 2007 · 3 yrs
Morgan Stanley
April 2004 - April 2007 · 3 yrs
Wachovia Securities, LLC
May 2003 - April 2004 · 11 mos
Wachovia Securities, LLCBroker
February 2000 - April 2004 · 4 yrs 2 mos
Salomon Smith Barney INC.Broker
July 1993 - February 2000 · 6 yrs 7 mos
Lehman Brothers INC.Broker
April 1988 - July 1993 · 5 yrs 3 mos
E. F. Hutton & Company INCBroker
August 1979 - April 1988 · 8 yrs 8 mos
Bear, Stearns & CO.Broker
January 1977 - September 1979 · 2 yrs 8 mos
E. F. Hutton & Company INCBroker
December 1969 - February 1977 · 7 yrs 2 mos
State Registrations16 states
AZCACOFLGAILKSMAMINCNJNMNVNYOHOR
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.